MANAGER'S REGISTRATION Checklist and Instructions City Clerk s office Civic Center Drive Thornton, Colorado

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1 MANAGER'S REGISTRATION Checklist and Instructions City Clerk s office Civic Center Drive Thornton, Colorado ONE COMPLETE SET OF DOCUMENTS MUST BE SUBMITTED (Incomplete sets will be returned) Allow six weeks for processing. Provide documents in order of the Checklist - Single-Sided - No Staples Please All documents and copies need to be legible and either typed or printed in BLACK ink on 8-1/2 x 11 size paper only. ALL documents must be properly executed and correspond with name of applicant exactly. LICENSEE DOCUMENTS (COMPLETE AND SIGN BEFORE SUBMITTING): State Form DR Permit Application & Report of Changes (complete appropriate sections licensee signature required). Affidavit (notarized statement) showing duties, limitations, & compensation of manager or Management Contract or Agreement (acceptable employer-employee contract). MANAGER DOCUMENTS (COMPLETE AND SIGN BEFORE SUBMITTING): State Form DR-8404-I - Individual History Record. City Form 7 - Background Investigation Report. City Form 12 - Authorization and Consent to Release Information. Fingerprints - taken at Thornton Police Department (specify that it is for a liquor license manager s registration). HOTEL AND RESTAURANT OR TAVERN APPLICATION FEES: $75.00 Colorado Department of Revenue ($ concurrent review fee if applicable). $ City of Thornton (includes $75.00 investigation and $38.50 fingerprinting fee) BEER AND WINE, CLUB, ARTS AND RACETRACK APPLICATION FEES: $ City of Thornton (includes $75.00 investigation and $38.50 fingerprinting fee) INSTRUCTIONS: Contact Lucille Miller, Deputy City Clerk at to schedule an appointment for initial review. Any subsequent change in managers must be reported within the time frame designated in C.R.S (8) and C.R.S (10). The Local Licensing Authority generally meets on the third Wednesday of each month. The completed application packet must be returned to the City Clerk's office no later than six weeks prior to the meeting at which time the Authority will consider the application. This time period is necessary for the City to complete its background investigation on the manager. The Manager is required to attend the meeting to answer any questions the Authority may have pertaining to State and Local Liquor Laws to assure that he/she is familiar with the rules and regulations regarding the sale of alcoholic beverages. A copy of Chapter 42, Article II of the Thornton City Code is included for your information. Please stop by the City Clerk s office to pick up a copy of a training video from the Thornton Police Department. In addition to the Thornton Police Department training video and classes, some vendors that have training programs include: Anheuser Busch (Training for Intervention Procedures by Servers TIPS Phone: ; and Colorado Restaurant Association (ServSafe Alcohol), Phone: A complete list of trainers that comply with State standards is on the State s web site: (authority/forms/packet forms/managers/ )

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5 DR 8404-I (03/13/15) COLORADO DEPARTMENT OF REVENUE Liquor Enforcement Division (303) Individual History Record To be completed by the following persons, as applicable: sole proprietors; general partners regardless of percentage ownership, and limited partners owning 10 or more of the partnership; all principal of cers of a corporation, all directors of a corporation, and any stoc holder of a corporation owning 10 or more of the outstanding stoc ; managing members or of cers of a limited liability company, and members owning 10% or more of the company; and any intended registered manager of Hotel and Restaurant or Tavern class of retail license Notice: This individual history record requires information that is necessary for the licensing investigation or inquiry. All questions must be answered in their entirety or the license application may be delayed or denied. If a question is not applicable, please indicate so by N/A. Any deliberate misrepresentation or material omission may jeopardize the license application. (Please attach a separate sheet if necessary to enable you to answer questions completely) 1. Name of Business Home Phone Number Cellular Number 2. our ull Name (last, rst, middle) 3. List any other names you have used 4. Mailing address (if different from residence) Address 5. List current residence address. Include any previous addresses within the last ve years. (Attach separate sheet if necessary) Street and Number City, State, Zip From To Current Previous 6. List all employment within the last ve years. Include any self-employment. (Attach separate sheet if necessary) Name of Employer or Business Address (Street, Number, City, State, Zip) Position Held From To. List the name(s) of relatives wor ing in or holding a nancial interest in the Colorado alcohol beverage industry. Name of Relative Relationship to You Position Held Name of Licensee 8. Have you ever applied for, held, or had an interest in a Colorado Liquor or Beer License, or loaned money, furniture, tures, equipment or inventory to any licensee (If yes, answer in detail.) Yes No 9. Have you ever received a violation notice, suspension, or revocation for a liquor law violation, or have you applied for or been denied a liquor or beer license anywhere in the nited tates (If yes, e plain in detail.) Yes No

6 10. Have you ever been convicted of a crime or received a suspended sentence, deferred sentence, or forfeited bail for any offense in criminal or military court or do you have any charges pending (If yes, e plain in detail.) Yes No 11. Are you currently under probation (supervised or unsupervised), parole, or completing the requirements of a deferred sentence (If yes, e plain in detail.) Yes No 12. Have you ever had any professional license suspended, revo ed, or denied (If yes, e plain in detail.) Yes No Personal and Financial Information nless otherwise provided by law, the personal information required in question 13 will be treated as con dential. The personal information required in question 13 is solely for identi cation purposes. 13a. Date of Birth b. Social Security Number c. Place of Birth d. U.S. Citizen Yes No e. If Naturalized, state where f. When g. Name of District Court h. Naturalization Certi cate Number i. Date of Certi cation j. If an Alien, Give Alien s Registration Card Number k. Permanent Residence Card Number l. Height m. Weight n. Hair Color o. Eye Color p. Gender q. Race r. Do you have a current Driver s License/ID If so, give number and state. 14. Financial Information. Yes No # State a. Total purchase price or investment being made by the applying entity, corporation, partnership, limited liability company, other. $ b. List the total amount of the personal investment, made by the person listed on question #2, in this business including any notes, loans, cash, services or equipment, operating capital, stock purchases or fees paid. $ * If corporate investment only please skip to and complete section (d) ** Section b should re ect the total of sections c and e c. Provide details of the personal investment described in 14b. You must account for all of the sources of this investment. (Attach a separate sheet if needed) Type: Cash, Services or Equipment Account Type Bank Name Amount d. Provide details of the corporate investment described in 14 b. You must account for all of the sources of this investment. (Attach a separate sheet if needed) Type: Cash, Services or Equipment Loans Account Type Bank Name Amount e. Loan Information (Attach copies of all notes or loans) Name of Lender Address Term Security Amount Oath of Applicant I declare under penalty of perjury that this application and all attachments are true, correct, and complete to the best of my knowledge. Authorized Signature Print Signature Title Date

7 DR 8442 (09/24/09) Page 1 colorado department of revenue LIQUOR ENFORCEMENT DIVISION denver, Colorado (303) FOR DEPARTMENT USE ONLY permit application AND report of changes Current license number all answers must be printed in black ink or typewritten local license fee $ applicant should obtain A COLORADO LIQUOR & BEER CODE book to order call (303) Applicant is a present license Number Corporation... Individual Partnership... Limited Liability Company 2. Name of Licensee 3. Trade Name 4.Location Address City County ZIP Select the appropriate section below and proceed to the instructions on page 2. Section A Manager reg/change Section C License Account No (999) Manager's Registration (Hotel & Restr.)..$ (999) Manager's Registration (Tavern)...$75.00 Change of Manager (Other Licenses) NO FEE Section B Duplicate License Liquor License No (999) Duplicate License...$ (999) Retail Warehouse Storage Permit (ea).$ (999) Wholesale Branch House Permit (ea) (999) Change Corp. or Trade Name Permit (ea) (999) Change Location Permit (ea) (999) Change, Alter or Modify Premises $ x Total Fee (999) Addition of Optional Premises to Existing H/R $ x Total Fee (999) Addition of Related Facility to Resort Complex $75.00 x Total Fee do not write in this space for department of revenue use only Date License Issued License Account Number period -750 (999) -100 (999) The State may convert your check to a one time electronic banking transaction. Your bank account may be debited as early as the same day received by the State. If converted, your check will not be returned. If your check is rejected due to insufficient or uncollected funds, the Department of Revenue may collect the payment amount directly from your bank account electronically. TOTAL AMOUNT DUE $.00

8 DR 8442 (09/24/09) Page 2 instruction sheet For all sections, complete questions 1-4 located on page 1 Section A To Register or Change Managers, check the appropriate box in section A and complete question 8 on page 4. Proceed to the Oath of Applicant for signature (Please note: Hotel, Restaurant, and Tavern licensees are required to register their managers). Section B For a Duplicate license, be sure to include the liquor license number in section B on page 1 and proceed to page 4 for Oath of Applicant signature. Section C Check the appropriate box in section C and proceed below. 1) For a Retail Warehouse Storage Permit, go to page 3 complete question 5 (be sure to check the appropriate box). Submit the necessary information and proceed to page 4 for Oath of Applicant signature. 2) For a Wholesale Branch House Permit, go to page 3 and complete question 5 (be sure to check the appropriate box). Submit the necessary information and proceed to page 4 for Oath of Applicant signature. 3) To Change Trade Name or Corporation Name, go to page 3 and complete question 6 (be sure to check the appropriate box). Submit the necessary information and proceed to page 4 for Oath of Applicant signature. 4) To modify Premise, go to page 4 and complete question 9. Submit the necessary information and proceed to page 4 for Oath of Applicant signature. 5) For Optional Premises or Related Facilities go to page 4 and complete question 9. Submit the necessary information and proceed to page 4 for Oath of Applicant signature. 6) To Change Location, go to page 3 and complete question 7. Submit the necessary information and proceed to page 4 for Oath of Applicant signature.

9 DR 8442 (09/24/09) Page 3 STORAGE PERMIT 5. Retail Warehouse Storage Permit or a Wholesalers Branch House Permit Retail Warehouse Permit for: On Premises Licensee (Taverns, Restaurants etc.) Off Premises Licensee (Liquor stores) Wholesalers Branch House Permit Address of storage premise: City, County, Zip Attach a deed/ lease or rental agreement for the storage premises. Attach a detailed diagram of the storage premises. 6. Change of Trade Name or Corporation Name CHANGE TRADE NAME OR CORPORATE NAME Change of Trade name / DBA only Corporate Name Change (Attach the following supporting documents) 1. Certificate of Amendment filed with the Secretary of State, or 2. Statement of Change filed with the Secretary of State, and 3. Minutes of Corporate meeting, Limited Liability Members meeting, Partnership agreement. Old Trade Name New Trade Name Old Corporate Name New Corporate Name 7. Change of Location NOTE TO RETAIL LICENSEES: An application to change location has a local application fee of $750 payable to your local licensing authority. You may only change location within the same jurisdiction as the original license that was issued. Pursuant to (1) C.R.S. Your application must be on file with the local authority thirty (30) days before a public hearing can be held. Date filed with Local Authority Date of Hearing (a) Address of current premises CHANGE OF LOCATION City County Zip (b) Address of proposed New Premises (Attach copy of the deed or lease that establishes possession of the premises by the licensee) Address City County Zip (c) New mailing address if applicable. Address City County State Zip (d) Attach detailed diagram of the premises showing where the alcohol beverages will be stored, served, possessed or consumed. Include kitchen area(s) for hotel and restaurants.

10 DR 8442 (09/24/09) Page 4 change of manager 8. Change of Manager or to Register the Manager of a Tavern or a Hotel and Restaurant liquor license. (a) Change of Manager (attach Individual History DR 8404-I H/R and Tavern only) Former manager's name New manager's name (b) Date of Employment Has manager ever managed a liquor licensed establishment?... Yes No Does manager have a financial interest in any other liquor licensed establishment?... Yes No If yes, give name and location of establishment modify premises or addition of optional premises or related facility 9. Modification of Premises, Addition of an Optional Premises, or Addition of Related Facility NOTE: Licensees may not modify or add to their licensed premises until approved by state and local authorities. (a) Describe change proposed (b) If the modification is temporary, when will the proposed change: Start (mo/day/year) End (mo/day/year) NOTE: The total state fee for temporary modification is $ (c) Will the proposed change result in the licensed premises now being located within 500 feet of any public or private school that meets compulsory education requirements of Colorado law, or the principal campus of any college, university or seminary? (If yes, explain in detail and describe any exemptions that apply)...yes No (d) Is the proposed change in compliance with local building and zoning laws?...yes (e) If this modification is for an additional Hotel and Restaurant Optional Premises or Resort Complex Related Facility, has the local authority authorized by resolution or ordinance the issuance of optional premises?...yes (f) Attach a diagram of the current licensed premises and a diagram of the proposed changes for the licensed premises. (g) Attach any existing lease that is revised due to the modification. OATH OF APPLICANT I declare under penalty of perjury in the second degree that I have read the foregoing application and all attachments thereto, and that all information therein is true, correct, and complete to the best of my knowledge. Signature Title Date No No REPORT AND APPROVAL OF LOCAL LICENSING AUTHORITY (city / county) The foregoing application has been examined and the premises, business conducted and character of the applicant is satisfactory, and we do report that such permit, if granted, will comply with the applicable provisions of Title 12, Articles 46 and 47, C.R.S., as amended. THEREFORE, THIS APPLICATION IS APPROVED. Local Licensing Authority (City or County) Date filed with Local Authority Signature Title Date REPORT of state LICENSING AUTHORITY The foregoing has been examined and complies with the filing requirements of Title 12, Article 47, C.R.S., as amended. Signature Title Date

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37 C.D. No INDEX LOCAL LICENSING AUTHORITY CITY OF THORNTON, COLORADO RULES OF PROCEDURE April 2011 RULE PAGE I APPLICABILITY OF RULES AND DEFINITIONS... 1 II CHAIRPERSON, VICE CHAIRPERSON AND DUTIES OF MEMBERS Chairperson and Vice Chairperson... 1 Duties of Chairperson... 1 Decorum During Meeting... 2 Disqualification of Member from Participation... 2 III MEETINGS - GENERALLY Regular, Special and Organizational Meetings... 2 Order of Business Procedure for Meetings... 3 Minutes of the Meeting... 4 Attendance at Meetings Support Services... 5 IV V PUBLIC HEARING PROCEDURES FOR NEW, TRANSFER, CHANGE OF LOCATION, CHANGE OF CORPORATE STRUCTURE, MANAGER'S REGISTRATION, AND REQUEST TO MODIFY APPLICATIONS PUBLIC HEARING PROCEDURES FOR RENEWALS, SUSPENSIONS, FINES, AND REVOCATIONS VI PETITIONS (540190)

38 C.D. No LOCAL LICENSING AUTHORITY CITY OF THORNTON, COLORADO RULES OF PROCEDURE April 2011 RULE I APPLICABILITY OF RULES AND DEFINITIONS In addition to any other rules or laws which may be applicable, these Rules of Procedure (Rules) shall govern all proceedings before the Local Licensing Authority (Authority) of the City of Thornton. All meetings shall be conducted in compliance with these Rules and Robert's Rules of Order. These Rules shall govern in the event of a conflict with Robert's Rules of Order. Any provision of these Rules not governed by the Charter or Code, may be temporarily suspended at any meeting of the Authority by a majority vote of all members of the Authority. Any rule may be suspended by general consent if presented by the Chairperson and if there are no objections from any member. The definitions for terms, contained in Section of the Thornton City Code (Code), are to apply for all such terms used in these Rules. Section is therefore incorporated by this reference as if set forth fully herein. RULE II CHAIRPERSON, VICE CHAIRPERSON AND DUTIES OF MEMBERS A. CHAIRPERSON AND VICE CHAIRPERSON 1. Chairperson - The Chairperson shall preside at all regular and special meetings of the Authority. 2. Vice Chairperson - In the absence of the Chairperson, the Vice Chairperson shall preside. If the Chairperson and Vice Chairperson are both absent, the members present shall designate a person to act as Chairperson during their absence. 3. The members shall rotate the position of Chairperson and Vice Chairperson whenever possible. In the event that no members accept nomination for Chairperson or Vice Chairperson, the City Clerk shall inform the City Council immediately. B. DUTIES OF CHAIRPERSON The Chairperson shall have the responsibility to ensure that all meetings are conducted in an open and fair manner and that no individual member's opinion is allowed to dominate a meeting. The Chairperson shall clearly document any problems or issues and work with members who deviate from acceptable procedural standards. If a member has not taken steps to comply with such standards, on the second incident, which is noted by the Chairperson, the Chairperson will notify the City Clerk to advise the City Manager and the City Council of the matter. If the Chairperson is not following the standards, the City Clerk shall notify the City Manager who will forward the issue to City Council. The Chairperson shall attend the Mayor and Chairperson meetings and report the results to the Authority. The Chairperson shall assist the City Clerk in training of new members. The Chairperson shall act as liaison with the City Council and communicate City Council goals and policies to the Authority.

39 RULES OF PROCEDURE C.D. No PAGE 2 C. DECORUM DURING MEETING The Chairperson shall preserve decorum during a meeting. The Chairperson shall have the right to eject, after reasonable warning, any person disrupting a meeting. No signs or placards will be displayed by an applicant or audience in the audience section during a public hearing. Loud sounds such as cheering, applause, or booing shall be limited by the Chairperson. Video or audio recording of a hearing by persons other than City employees is at the discretion of the Chairperson and in no event shall any recording interfere or impede a meeting. D. DISQUALIFICATION OF MEMBER FROM PARTICIPATION No member may participate in the debate or vote upon any question when in violation of Chapter 57, Code of Ethics, of the City Code. A request to be excused from participation in or voting upon a question for any other reason must be made before the vote is taken. RULE III MEETINGS - GENERALLY A. REGULAR, SPECIAL AND ORGANIZATIONAL MEETINGS 1. All regular meetings of the Authority shall be held on the third Wednesday of each month in the Council Chambers of the Thornton Civic Center, however a meeting can be canceled by the City Clerk if there is no business to transact no later than 24 hours prior to the meeting. Notification of the cancellation shall be by telephone, electronically or by other technology, or first-class mail. Meetings shall start promptly at 6:00 p.m. and shall end no later than 11:00 p.m. unless otherwise approved by the Authority. 2. Special meetings shall be held as necessary, as scheduled by the Authority or upon call of the City Clerk who shall provide adequate notice to each member of such meeting. All special meetings where practical shall be held on Wednesdays. Adequate notice shall mean by first-class mail, electronically, by telephone, or by other technology at least 24 hours prior to the meeting. Oral or written consents and waivers of notices of meetings or continuances are permitted. Cancellation procedures for special meetings shall be the same as for regular meetings. 3. The Authority shall hold an organizational meeting in April of each year. At said organizational meeting, the Chairperson and Vice Chairperson shall be elected and such other organizational matters as it deems appropriate considered. B. ORDER OF BUSINESS The following Order of Business will normally be used for meetings: Call to Order Roll Call Approval of Agenda Motion to Admit the License Applications and the City Clerk's Communication Documents into Evidence Consent Agenda Business

40 RULES OF PROCEDURE C.D. No PAGE 3 Public Hearings Other Matters Adjournment The Authority may change the Order of Business to assist and facilitate the conduct of its meetings. C. PROCEDURE FOR MEETINGS 1. The City Clerk will prepare the meeting room, and provide public hearing sign-up sheets to be placed in the lobby or council chamber prior to the meeting for the benefit of those persons wishing to speak on those matters on the agenda. On the Friday preceding any meeting, if possible, but no later than 48 hours prior to any meeting, the City Clerk will have an agenda showing the order of business, copies of communications, resolutions, if applicable, with supporting documents, and other related items, made available for each Authority member. 2. The Chairperson calls the meeting to order and reads the next order of business. The Chairperson should request such information, evidence and testimony as is appropriate for the item being considered. 3. Except during a public hearing, persons other than members of the Authority and City officials shall not be permitted to address the Authority except upon recognition by the Chairperson. Any Authority member may request the Chairperson recognize any person other than a City official. If permission is not granted, the decision of the Chairperson may be appealed. Any member may appeal a ruling of the Chairperson to the Authority. If the appeal is seconded, the member making the appeal may briefly state the reason for the same, and the Chairperson may briefly explain the reason for the ruling; but there shall be no debate on the appeal, and no other member shall participate in the discussion. The Chairperson shall then put the question, "Shall the decision of the Chairperson be sustained?" If a majority of the members present vote "Yes," the ruling of the Chairperson is sustained; otherwise it is overruled. 4. At the conclusion of the evidence and testimony, the Chairperson should entertain a motion regarding the disposition of the item. 5. When a motion is made and seconded, the Chairperson should ask for and allow discussion of the motion by the Authority. 6. Upon completion of discussion, the Chairperson should request a vote by the Authority. The City Clerk will record the vote. 7. The meeting may be adjourned by motion of the Chairperson or any member. A recess may be called at any time either by the Chairperson or upon motion by a member with the consent of the majority. The Authority shall not adjourn while in recess but must reconvene prior to adjournment.

41 RULES OF PROCEDURE C.D. No PAGE 4 D. MINUTES OF THE MEETING The City Clerk shall prepare and keep the minutes of all Regular and Special Meetings of the Authority. The minutes shall not be a verbatim transcript of the proceedings, provided tape recordings of all proceedings are retained by the City Clerk's office in accordance with the State Archives retention schedule for reference when and if necessary. The purpose of the minutes shall be to record the Authority's transactions rather than its deliberations; therefore, debates, arguments, and discussion among the Authority shall not be included. Specific direction to the support staff, the City Clerk and City Attorney, shall be included in the minutes when such direction may affect the outcome of a decision to be made by the Authority. A court reporter may be in attendance for the purpose of recording the proceedings when the Authority, an applicant or a Party in Interest so requests; however, anyone requesting a court reporter is responsible for paying the full cost thereof. The City Clerk should include the following in the minutes of each meeting: 1. Name - Meeting of the Local Licensing Authority of Thornton, Colorado 2. Kind of meeting (Regular, Special) 3. Place and date of meeting 4. Officer presiding, Authority Members and Staff present 5. The decision in each point of order arising 6. A record of the Authority's actions which will in most instances be a motion reflecting the decision taken by the Authority 7. The time and place of re-assembling unless it is the regular meeting time and place 8. A record of the applicant(s) and witnesses in attendance and the purpose of their presence 9. Whether previous minutes were approved 10. The signature of the City Clerk and the Chairperson at the time the minutes were approved 11. All motions, seconds, the vote thereon (including abstentions), and any subject matter reports given and disposition of same E. ATTENDANCE AT MEETINGS 1. Attendance Required - A written report signed by the Chairperson shall be sent to the City Council concerning any member of the Authority who has three absences in a calendar year from Authority meetings for City Council determination as to whether this shall result in removal of that member from the Authority. Such report shall be sent to the City Council within three days following such member's third absence.

42 RULES OF PROCEDURE C.D. No PAGE 5 2. Notice of Absence Any member who is going to be absent from an Authority meeting shall notify the City Clerk prior to the meeting. No member may leave during the meeting without permission from the Chairperson. F. SUPPORT SERVICES 1. Legal - The City Attorney or designee of the City Attorney may designate may attend all regular and special meetings of the Authority as the legal and procedural advisor to the Authority. In any public hearing where evidence is to be presented in regard to a show-cause hearing in support of a suspension or revocation, special counsel may be appointed to represent the City or the Authority. 2. Secretarial; records custodian - The City Clerk shall serve as the secretary and records custodian for the Authority and perform the functions that a corresponding secretary and recording secretary normally perform. Additionally, the City Clerk shall be responsible for overseeing the publication concerning public hearings and other required notifications. RULE IV PUBLIC HEARING PROCEDURES FOR NEW, TRANSFER, CHANGE OF LOCATION, CHANGE OF CORPORATE STRUCTURE, MANAGER'S REGISTRATION, AND REQUEST TO MODIFY APPLICATIONS A. The Chairperson or presiding member shall have full authority to control the proceedings, to admit or exclude testimony or other offers of evidence and to rule upon all motions and objections. A majority of the Authority members present may overrule the Chairperson on any such rulings. Unless the member has reviewed all the evidence and a transcript of the prior proceedings, any member who has been absent during any portion of a public hearing may not vote or participate in deliberations and discussions at the public hearing. B. The Authority shall not be bound by strict rules of evidence prevailing in courts of law or equity, however the right of cross-examination shall be preserved. Irrelevant, repetitive and cumulative testimony and evidence should be excluded when possible. Motions may be written, but, shall be read into or summarized for the record. Objections shall be stated orally for the record. All testimony shall be given under oath. In all Public Hearings under this Rule IV, the applicant has the burden of persuading the Authority that the application should be granted. C. All exhibits or other documentary evidence to be admitted shall be submitted to the City Clerk and pre-marked no later than the Monday before the hearing. These exhibits shall be introduced as in Civil Cases. If the applicant desires to distribute copies of exhibits to the Authority at the hearing, the applicant shall provide a sufficient number of copies. Neighborhood petitions signed by inhabitants and submitted to the Authority in accordance with these Rules and Section of the Code, shall be considered by the Authority when determining the "requirements" and "desires" of the neighborhood. D. The following order for the presentation of evidence shall apply: 1. Call the public hearing to order

43 RULES OF PROCEDURE C.D. No PAGE 6 2. Opening remarks by Chairperson 3. Opening statement by the applicant or the applicant's attorney 4. Opening statement by the City Attorney 5. Presentation of applicant's evidence and witnesses. Prior to excusing applicant's witnesses, cross-examination shall be permitted in the following order: a. City Attorney b. Authority members c. Any person who is a "party in interest" (if applicable) as defined in (C.R.S ) (hereafter, Party in Interest) 6. Presentation of City's evidence and witnesses. Prior to excusing any of the City's witnesses, cross-examination shall be permitted in the following order: a. Applicant's attorney b. Authority members c. Any Party in Interest (if applicable) 7. Presentation of witnesses and evidence by any Party in Interest (if applicable). Prior to excusing witnesses, cross examination of interested parties and their witnesses shall be permitted by applicants, City and Authority members. 8. Applicant's rebuttal evidence 9. City's rebuttal evidence 10. Applicant's closing statement 11. City's closing statement 12. Applicant's reply closing statement 13. Close the public hearing 14. Deliberation and call for motion 15. Applicable motion to grant or deny application, discussion and vote E. Reopening of a Public Hearing - Whenever a public hearing has been opened and continued to another date or where it has been closed and the Authority wishes to take additional evidence prior to a vote or a reconsideration of a vote, the Chairperson may reopen the public hearing for purposes of taking such additional evidence. The Chairperson may limit the scope of such evidence to be taken. Whenever a public hearing is reopened and additional evidence is taken, all such additional evidence shall be incorporated into the original public hearing.

44 RULES OF PROCEDURE C.D. No PAGE 7 F. Evidence for Public Hearings - New licenses, transfer of ownership, change of location, change of corporate structure, manager's registration, and request to modify. 1. Evidence concerning whether the Applicant (individual, corporation, or other entity) is qualified to hold the type of license applied for (not applicable for request to modify or change of location), which evidence may include: a. other facilities operated by applicant b. training and experience of applicant c. familiarity with laws both state and local d. procedures and policies regarding enforcement of liquor laws e. reputation and particular history of applicant regarding liquor laws 2. Evidence concerning the reasonable requirements of the neighborhood and whether existing outlets are adequate (not applicable for transfer, change of corporate structure, or manager's registration), which evidence may include: a. number of existing outlets and proximity b. testimony from adults residing in the relevant neighborhood c. testimony from applicant or applicant's officers d. testimony from petitioner or company submitting petitions 3. Evidence concerning the desires of adult residents for existing outlets (not applicable for transfer, change of corporate structure, or manager's registration), which evidence may include: a. testimony from adults residing in the relevant neighborhood b. testimony from a manager or business owner in the relevant neighborhood c. petitions submitted by the applicant or petition company d. testimony from applicants 4. May have other evidence concerning: a. nature of establishment and location b. discussion concerning meeting all applicable City codes or ordinances c. discussion concerning financial interest in establishment G. Any Party in Interest wishing to participate in the hearing must so inform the Authority at the onset of the hearing. That party may cross-examine witnesses and introduce evidence with regard to the following matters: 1. Reasonable requirements of the neighborhood and the number and type of relevant existing outlets 2. Any other pertinent matters affecting the qualifications of the applicant, including but not limited to the applicant's character, record or reputation 3. Any other evidence which would indicate that the building or location proposed for the operation of the license is not suited for the intended purposes 4. Desires of the inhabitants in opposition to the issuance of the licenses expressed by witnesses and/or through petitions

45 RULES OF PROCEDURE C.D. No PAGE 8 H. The City Clerk may grant an applicant's or the City s request to continue a matter set for hearing to a following regular or special meeting, if such request is made prior to the time that publication and posting of notice of hearing on the matter is to be made. Once a matter has been scheduled for public hearing and public notice thereof has been given, the matter may be continued only by the Authority upon a showing of good cause. The Authority may, in its discretion, grant or deny an applicant's request for a continuance, or it may condition the grant of a continuance upon the payment of costs or other expenses reasonably caused by applicant's request. I. Unless excused by the Authority, the following persons shall be in attendance at the public hearing on the application: 1. if the applicant is an individual, that individual; or 2. if the applicant is a partnership, any managing or general partner or his authorized designee; or 3. if the applicant is a corporation, the president of the corporation, an officer or director or such other corporate representative as the president may designate in writing; or 4. If the applicant is a limited liability company, a managing officer, or his authorized designee. J. The Authority may deliberate in open session or may, upon proper motion, recess into Executive Session. The Executive Session will not be for the purpose of receiving any evidence nor shall a final determination be made during such Executive Session. K. It is within the discretion of the Authority, whether to make an immediate decision upon the conclusion of the public hearing or require the City Attorney's office to prepare written findings within a reasonable time after the hearing, not to exceed 30 days. L. Any findings, either written or oral, which shall mean findings of fact, conclusions of law and order, may be prepared by the City Attorney's office and may be available for execution by the Chairperson and adoption by the Authority at the public hearing or at a subsequent regular or special meeting. Written findings of fact shall be mailed by certified mail to the applicant within 30 days after the determination is made. M. All decisions of the Authority are final, subject only to appeals made directly to a court of competent jurisdiction.

46 RULES OF PROCEDURE C.D. No PAGE 9 RULE V PUBLIC HEARING PROCEDURES FOR RENEWALS, SUSPENSIONS, FINES, AND REVOCATIONS A. The Authority has the power after investigation and public hearing at which the licensee shall be afforded an opportunity to be heard, to suspend, deny renewal of or revoke any license issued by the Authority for violations by the licensee, or by any of the agents, servants, or employees of such licensee of the provisions of the Colorado Liquor or Beer Codes, or any of the rules, ordinances and regulations authorized pursuant to such Codes or of any of the terms, conditions or provisions of the license issued by the Authority. B. Suspension and revocation proceedings shall be commenced by the Authority by issuing and causing to be served upon the liquor licensee by first-class mail to the licensee at the address contained in the license, an Order to Show Cause and Notice of Hearing (Notice). The Notice shall command the licensee to appear and show cause why its license should not be suspended or revoked as it appeared to the Authority that there was probable cause to believe that the licensee or any of the agents, servants or employees violated laws, rules or regulations of the Colorado Liquor or Beer Code or any of the terms, conditions or provisions of the license issued by the Authority. The Notice shall notify or inform the licensee of the charges or alleged grounds for suspension or revocation and will be prepared for the Authority by the City Attorney or designee. C. All proposed settlements and dispositions of matters scheduled for a public hearing shall be in the form of joint stipulations and shall be submitted in writing to the offices of the City Clerk and the City Attorney at least ten days prior to the scheduled public hearing date. The Authority has the discretion to consider a proposed disposition prior to the hearing. 1. The scheduled public hearing shall be automatically vacated if: a. The proposed settlement or disposition is properly and timely made in writing in accordance with Section C; and b. The proposed settlement is approved as to legal form by the Thornton City Attorney's office; and c. No prior proposed settlements or dispositions on the same matter have been previously submitted to the Authority for consideration; and d. The licensee has not, within the preceding two years, had its license suspended and paid a fine-in-lieu (Fine) for such. 2. The City Clerk shall provide the Authority members with a copy of the written notice of proposed settlement or disposition in their packets, or shall provide the Authority members with electronic or other technology or first-class mail notification of the matter. 3. Consideration of proposed disposition by the Authority; continuance of hearing upon rejection. a. Upon timely filing of the notice of the proposed disposition as provided in Section C above, the Authority shall, at the time of the scheduled hearing, consider the proposed stipulations and recommendations. The Authority

47 RULES OF PROCEDURE C.D. No PAGE 10 may however, upon good cause shown, consider dispositions presented either orally or in writing without regard to the provisions of Section C above. Upon a finding that the public interest is not served by the proffered disposition, or if the Authority significantly changes the proposed settlement order and during the Authority's consideration of such, either party has an objection to such changes, the hearing on the merits shall be continued and rescheduled to the next regular or special meeting of the Authority. The continued hearing shall be at least ten days after the original scheduled hearing date, unless both parties are prepared and agree to proceed immediately after rejection of the proposed disposition. b. In the event of rejection of the proposed disposition, the Authority shall identify the reasons for such rejection, which may include, without limitation, seriousness of the violations, aggravating or mitigating circumstances, the history of the subject establishment, corrective actions taken, likelihood of reoccurrence, and any other relevant matters impacting the public health, safety and welfare. 4. Subsequent proposed dispositions. In the event that the Authority, in the exercise of its discretion, should reject the proposed disposition of a matter, and the issues are rescheduled for hearing on the merits as set forth in Section 3(a), and the parties submit an amended notice of proposed disposition, the parties should nevertheless be fully prepared to proceed on the merits of the case at the rescheduled hearing in the event the amended proposal for disposition is also rejected by the Authority as herein contemplated. 5. Effect of rejection of proposed disposition--no prejudice. In the event that the Authority should reject any proposed disposition pursuant to the provisions of these Rules, neither the City nor the licensee shall suffer any prejudice or detriment as a result of such rejection. The legal standards and burden of proof applicable to the proceedings shall be as if the proposal had not been presented, and a licensee shall suffer no detrimental presumption or inference as a result of such rejection upon hearing the merits. 6. Factual stipulations. Nothing in these Rules shall be deemed or construed to preclude or limit either party before or during a hearing from offering to stipulate as to the existence of any fact. 7. Notice to licensees. Along with the Notice sent to any licensee or Notice of Non-Renewal to be considered at a public hearing, the City Clerk shall include a copy of Rule V of the Rules. D. All requests for continuance of a scheduled public hearing where the Authority will be considering whether a license may be suspended or revoked shall be submitted in writing to the offices of the City Clerk and the City Attorney, or if the City is requesting the

48 RULES OF PROCEDURE C.D. No PAGE 11 continuance, to the City Clerk and the business address of the applicant/licensee or their legal counsel at least ten days prior to the scheduled public hearing date. 1. A continuance of the public hearing shall be granted by the City Clerk to the next available meeting of the Authority if: a. The written request is properly and timely submitted to the City Clerk's office in accordance with Section D; and b. Both parties or their representatives agree to the continuance; and c. Neither party has been previously granted a continuance in the matter under consideration; and d. The City Clerk's office has not incurred any costs for publication of the public hearing date. 2. In the case of a renewal scheduled for a public hearing, a continuance of the public hearing shall be granted by the City Clerk to the next available meeting of the Authority if such request is made prior to the time that posting of notice of hearing on the matter is to be made. 3. If the request for continuance is not made and granted in accordance with Subsection D(1), both parties or their representative shall appear before the Authority at the scheduled public hearing time ready to proceed with their case. 4. Upon a showing of substantial hardship or other good cause by the requesting party, the Authority may grant continuances upon such terms and conditions as it deems just and proper. E. A hearing on the suspension, revocation, or non-renewal shall be held at a place, day and time designated by the Authority as stated in the notice of hearing. Evidence in support of the charges shall be given first, followed by cross-examination of those testifying thereto. The licensee, in person or by counsel, shall then be permitted to give evidence in defense and in explanation of the charges, followed by the cross-examination of those testifying thereto. F. In the event the licensee is found not to have violated any law, rule or regulation, the charges against him will be dismissed. If the licensee is found to have violated some law, rule or regulation, the license shall be suspended, revoked or not renewed in accordance with the procedures set forth in Subsection L. G. The City Clerk shall mail the licensee the Authority's decision by first-class mail for a liquor licensee to the address contained in such license within 30 days following the hearing. H. In the event of revocation, or suspension, no portion of the license fee shall be refunded. I. Orders of suspension shall indicate the effective date of suspension. For suspensions of 14 days or less, the effective date shall be at least ten business days after announcement of the suspension unless the Authority makes findings, which indicate the need for an earlier effective date.

49 RULES OF PROCEDURE C.D. No PAGE 12 J. Where the Authority has probable cause to believe a licensee has been guilty of a deliberate and willful violation of any applicable law or regulation or that the public health, safety, or welfare imperatively requires emergency action, the Authority may temporarily or summarily suspend the license for a period not to exceed 15 days pending a hearing on the suspension or revocation, which hearing shall be promptly instituted and determined. Any finding by the Authority that a temporary summary suspension is appropriate under this section must be by a two-thirds vote of the entire nine member Authority, and specific findings of a willful violation or immediate threat to the public health, safety or welfare must be made and entered in the record and incorporated into any suspension or revocation order. K. A licensee wishing to petition the Authority to pay a Fine for a suspension of 14 days or less, as provided by Code Section (c), must submit a written petition to the City Clerk's office at least three working days prior to the effective date of the suspension and follow the procedures outlined in C.R.S (3). 1. The petition for payment of a Fine shall include all information and documentation which the licensee would like the Authority to consider when acting on the petition. The petition shall include, among other things, such information which indicates the licensee is eligible for the payment of a Fine pursuant to the Code and the laws of the State of Colorado, and a calculation of the proposed fine as set out in Section (c) of the Code with sufficient financial documentation so as to permit the Authority to substantiate the amount of the proposed fine. 2. The City Clerk shall not accept for filing a petition for payment of a Fine unless the petition is timely filed and is accompanied by a non-refundable petition fee as provided in Section (c) of the Code. 3. Except as provided in Section K of this Rule, upon the acceptance of filing of a petition for payment of a Fine, the suspension of the license shall be temporarily stayed until such time as the Authority acts upon the petition for payment of a Fine. The petition will be presented to the Authority at the next available regular meeting of the Authority following the filing of the petition. 4. If the Authority denies the petition for payment of a Fine, the suspension shall be reinstated and the Authority shall indicate the effective date of the suspension. 5. If the petition for payment of a Fine is granted, the granting of the petition shall be deemed to be conditioned upon the payment of the fine within ten working days of the action of the Authority. A new suspension period will be set out in any order granting a petition for payment of Fine that period of suspension automatically becoming effective in the event that the licensee fails to pay the fine. L. The public hearing for a revocation, suspension or non-renewal shall be conducted following the same applicable procedures as outlined in Rule IV, however, the City will have the burden of persuading the Authority that a violation occurred or the license should not be renewed, as follows: 1. The following order for the presentation of evidence shall apply:

50 RULES OF PROCEDURE C.D. No PAGE 13 a. Opening statement by the City Attorney b. Opening statement by the Licensee c. Presentation of City's evidence and witnesses. Prior to excusing any of the City's witnesses, cross-examination shall be permitted in the following order: 1. Licensee's attorney 2. Authority members d. Presentation of Licensee's evidence and witnesses. Prior to excusing applicant's witnesses, cross-examination shall be permitted in the following order: 1. City Attorney 2. Authority members e. City's rebuttal evidence f. Licensee's rebuttal evidence g. City's closing statement h. Licensee's closing statement i. City's reply closing statement j. Close the public hearing k. Deliberation and call for motion l. Applicable motion to suspend, revoke, or not renew license, discussion and vote 2. Evidence for Public Hearing - Suspension, Non-Renewal City presents evidence concerning whether the licensee committed the violations listed in the Verified Complaint, which evidence may include: a. Evidence from individual witnesses either employees or contractors who were present when events occurred b. Evidence from experts including health or other County or State officials concerning events surrounding the incident c. Evidence from City officials including Code Enforcement officers, Finance officers, and Building Code officials d. Evidence from the Police Department including the Local Licensing Investigator 3. In the event the Authority finds that a violation occurred, the Sentencing Guidelines shall be applied to assist the Authority in determining a penalty. 4. In the event that the Authority finds that a violation occurred, then the licensee may also present evidence in mitigation or explanation and the City may present evidence in aggravation prior to the Authority issuing its Order relating to the penalty, conditions or sanctions to be imposed. 5. The Authority may deliberate in open session or may, upon proper motion, recess into Executive Session to deliberate upon the evidence presented. The Executive Session will not be for the purpose of receiving any evidence nor shall a final determination be made during such Executive Session. 6. It is within the discretion of the Authority whether to make an immediate decision at the conclusion of the public hearing or require the City Attorney's office to